CRD #6183 · FINRA BrokerCheck + SEC IAPD

C. L. King & Associates, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, C. L. King & Associates, Inc. ranks #734 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #83 of 868 on the same disclosure sort used on the state browse page. C. L. King & Associates, Inc. carries 9 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
9
disclosures
#734 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6183 C. L. King & Associates, Inc.

C. L. King & Associates, Inc. · Grade C · 9 disc · 3.00/office · Small firm

  • CRD 6183
  • GRADE C
  • DISC 9
  • REG 7
  • ARB 2
  • CIV 0
  • BRANCH 3
  • PER-OFF 3.00
  • RANK #734 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Banyan Securities, LLC (3.00 disc/office)

Banyan Securities, LLC3.00Buell Securities Corp.3.00Cobra Trading, Inc.3.00C. L. King & Associ… (this)3.00
Disclosures per office among small firm peers (lower is cleaner)

C. L. King & Associates, Inc. ranks #734 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

3 offices

FINRA: Small firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

7 actions

78% of all disclosures

Disclosures per office

3.00 per office

9 ÷ 3 offices

C. L. King & Associates, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 4% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 7
Arbitrations 2
Civil Events 0
Total 9

Counts for C. L. King & Associates, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 7 Arbitration 2 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Albany, NY
CRD Number
6183

Elevated disclosures per office

C. L. King & Associates, Inc. in the heavier-disclosure third

C. L. King & Associates, Inc. carries 9 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#734 of 20,055). Regulator-initiated events are 78% of the book (7 regulatory / 2 arbitration / 0 civil).

C. L. King & Associates, Inc. runs 3.00 disclosures per branch office (cleaner than only 96% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of C. L. King & Associates, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.03× state average

C. L. King & Associates, Inc. tracks near the New York disclosure average

C. L. King & Associates, Inc. reports 9 BrokerCheck disclosures, about 1.03× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does C. L. King & Associates, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, C. L. King & Associates, Inc. ranks #734 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #83 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for C. L. King & Associates, Inc.?
A grade of C reflects C. L. King & Associates, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 9 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does C. L. King & Associates, Inc. have?
C. L. King & Associates, Inc. has 9 total FINRA disclosures, including 7 regulatory events, 2 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is C. L. King & Associates, Inc.?
C. L. King & Associates, Inc. operates 3 branch offices and is classified by FINRA as a small firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify C. L. King & Associates, Inc.'s disciplinary record?
You can verify C. L. King & Associates, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6183. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). C. L. King & Associates, Inc.'s 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid C. L. King & Associates, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. C. L. King & Associates, Inc. carries 9 disclosures across 3 branch offices (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for C. L. King & Associates, Inc., both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Banyan Securities, LLC (CA) - 3.00 disclosures/office, nearest small firm peer to C. L. King & Associates, Inc.'s 3.00
  • Buell Securities Corp. (CT) - 3.00 disclosures/office, nearest small firm peer to C. L. King & Associates, Inc.'s 3.00
  • Cobra Trading, Inc. (TX) - 3.00 disclosures/office, nearest small firm peer to C. L. King & Associates, Inc.'s 3.00
  • Firms in NY - state roster that includes C. L. King & Associates, Inc.'s registration home.
  • Red Flags in Advisor Records - How to read C. L. King & Associates, Inc.'s heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 9 disclosures behind C. L. King & Associates, Inc.'s Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as C. L. King & Associates, Inc..
  • Compare firms - put C. L. King & Associates, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.